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EK

Emily M. Koch

HARBOR FUNDS DISTRIBUTORS
BOSTON, MA 02110
Some features on this profile are disabled
CRD#: 5809245
EK

Professional summary

Emily Marie Koch, who also goes by Emily Marie Koch, is a registered financial professional currently at HARBOR FUNDS DISTRIBUTORS, INC. located in Boston, Massachusetts.

Emily is registered as a RR (Registered Representative) and started their career in finance in 2010. Emily has worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Emily Marie Koch

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Emily Marie Koch's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 17, 2022 - Present

HARBOR FUNDS DISTRIBUTORS, INC.

Office #1: 33 Arch Street, Boston, MA 02110
BD
CRD#: 113506
BOSTON, MA
Past

January 11, 2019 - February 25, 2022

PIMCO INVESTMENTS LLC

BD
CRD#: 154957
Austin, TX
Past

April 27, 2016 - January 4, 2019

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
JACKSONVILLE, FL
Past

January 27, 2012 - February 3, 2016

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
CORAL GABLES, FL
Past

August 23, 2010 - May 5, 2011

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
MIAMI, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(3/17/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 9/8/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 6/12/2016
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/9/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/21/2010
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/4/2012
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

HF
HARBOR FUNDS DISTRIBUTORS, INC.
BCA SECURITIES, INC. | HCA SECURITIES, INC. | HARBOR FUNDS DISTRIBUTORS, INC.

CRD#: 113506 / SEC#: , 8-53339

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
111 South Wacker Drive 34th Floor, Chicago, IL 60606
Mailing Address
111 South Wacker Drive 34th Floor, Chicago, IL 60606
Phone number
(312) 443-4420
Established
Delaware since 02/21/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HARBOR CAPITAL ADVISORS, INC.SHAREHOLDER
HALABY, JOHN STEVEPRESIDENT AND DIRECTOR2543904
KUNKEL, JACOB JEFFREYCHIEF FINANCIAL OFFICER AND TREASURER6108628
MCCAIN, CHARLES FREDERICKCHIEF EXECUTIVE OFFICER AND DIRECTOR4865638
NEE, STEPHANIE ANNCHIEF COMPLIANCE OFFICER4968097

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

HARBOR FUNDS DISTRIBUTORS, INC.

CRD#: 113506Boston, MA 02110

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